Joshua J. Elving
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joshua James Elving, who also goes by Josh Elving, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 5 firms and has passed the Series 66, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2017 - June 18, 2018
LAKE STREET CAPITAL MARKETS, LLC
February 2, 2015 - May 4, 2017
FELTL & COMPANY
January 31, 2014 - January 27, 2015
COLLIERS SECURITIES LLC
July 28, 2010 - January 27, 2015
COLLIERS SECURITIES LLC
June 15, 2009 - July 30, 2010
FELTL & COMPANY
May 8, 2000 - September 2, 2008
PIPER SANDLER & CO.
September 10, 1998 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LAKE STREET CAPITAL MARKETS, LLC
CRD#: 164447 / SEC#: , 8-69101
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
